Frederick S. Richards
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frederick Sanders Richards II, who also goes by Fritz Richards II, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1997. Frederick had worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2009 - March 30, 2023
PRESTWICK PARTNERS, LLC
October 6, 2008 - October 7, 2008
RISE FINANCIAL SERVICES, LLC
January 17, 2001 - July 14, 2003
GREENE HOLCOMB & FISHER LLC
November 4, 1997 - January 10, 2001
GOLDSMITH, AGIO, HELMS SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 11/18/2008
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PRESTWICK PARTNERS, LLC
CRD#: 148515 / SEC#: , 8-68037
Contact information
Documents
Red Flags
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